Broker-Dealers

The SEC proposes revising a rule that governs the publication of securities' quotations

Latest enforcement action concerning seniors exploitation troubling

Market manipulation scheme employed by China-based traders

Proposals aimed at improving secondary market structure

Broker-dealers would have more discretion in handling the accounts of vulnerable senior investors under an industry proposal submitted to FINRA. The SRO is conducting a ...

Regulators say that small firms are not singled out for enforcement actions, but don’t try telling that to some of your peers. In the last ...

FINRA officials are working their way toward long-promised expungement reforms with a new rulemaking notice that would create a list of specially trained super-arbitrators who ...

We talked last week about how an aging population is going to challenge broker-dealers and especially advisers to protect their aging clients from being conned ...

FINRA has gotten the jump on the annual release of its examination findings and observations. Traditionally a year-end delivery, the SRO Oct. 16 published its ...

Don’t forget your anti-money laundering obligations under the Bank Secrecy Act if you’re engaged in activities involving digital assets. These cautious words come from the ...